Lance K. Morque
Professional summary
Lance Kelly Morque was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lance Kelly Morque was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1989. Lance had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2008 - May 7, 2009
MAXWELL SIMON, INC.
May 17, 2005 - September 11, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
March 12, 2002 - May 19, 2005
OPPENHEIMER & CO. INC.
May 2, 2001 - March 20, 2002
COLLIERS SECURITIES LLC
June 26, 2000 - May 17, 2001
HOWARD WEIL INCORPORATED
January 10, 1994 - June 27, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
September 6, 1989 - January 10, 1994
MOORE, JURAN AND COMPANY, INC.
January 24, 1989 - October 4, 1989
SECURITIES RESOLUTION CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
MAXWELL SIMON, INC.
CRD#: 12667 / SEC#: , 8-22712
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MSRJG HOLDINGS, LLC | PARENT COMPANY | |
| GOODMANSON, ROBERT JOSEPH | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 726865 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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